Alto Ingredients, Inc. 10-Q

ITEM 5. OTHER INFORMATION. Not applicable. 48 ITEM 6. EXHIBITS. Exhibit Number Description 10.1 Third Amendment to Membership Interest Purchase Agreement dated as of April 15, 2020 by and among Pacific Ethanol Central, LLC, Pacific Aurora, LLC and Aurora Cooperative Elevator Company (1) 10.2 Secured Promissory Note (Negotiable) dated April 15, 2020 in the amount of $8,580,000 by Pacific Aurora, LLC in favor of Pacific Ethanol Central, LLC (1) 10.3 Secured Promissory Note (Non-Negotiable) dated April 15, 2020 in the amount of $7,920,000 by Pacific Aurora, LLC in favor of Pacific Ethanol Central, LLC (1) 10.4 Assignment of Notes and Deeds of Trust dated April 15, 2020 by and among Pacific Ethanol Central, LLC, Pacific Aurora, LLC and CoBank, ACB (1) 10.5 Partial Release of Collateral Letter dated April 15, 2020 by Pacific Ethanol, Inc. and its Subsidiaries named therein, and CoBank, ACB (1) 10.6 Partial Release of Collateral Letter dated April 15, 2020 by Pacific Ethanol, Inc. and its Subsidiaries named therein, Cortland Products Corp., and the Noteholders named therein (1) 10.7 Promissory Note dated April 29, 2020 in the amount of $5,973,138 by Pacific Ethanol, Inc. in favor of Bank of America, NA (2) 10.8 Promissory Note dated May 1, 2020 in the amount of $3,886,729 by Pacific Ethanol Pekin, LLC in favor of Bank of America, NA (2) 10.9 Security Agreement dated May 5, 2020 by Pacific Ethanol Pekin, LLC in favor of Cortland Products Corp. as collateral agent for the Noteholders identified therein (3) 10.10 Note Amendment No. 6 dated May 26, 2020 by and among Pacific Ethanol, Inc. and the Noteholders identified therein (4) 10.11 Second Amendment to Amended and Restated Employment Agreement for Neil M. Koehler dated May 22, 2020 by and between Pacific Ethanol, Inc. and Neil M. Koehler (4) 31.1 Certifications Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (*) 31.2 Certifications Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (*) 31.3 Certifications Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (*) 32.1 Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (*) 101.INS XBRL Instance Document (*) 101.SCH XBRL Taxonomy Extension Schema (*) 101.CAL XBRL Taxonomy Extension Calculation Linkbase (*) 101.DEF XBRL Taxonomy Extension Definition Linkbase (*) 101.LAB XBRL Taxonomy Extension Label Linkbase (*) 101.PRE XBRL Taxonomy Extension Presentation Linkbase (*) (*) Filed herewith. (1) Filed as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on April 21, 2020. (2) Filed as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on May 7, 2020. (3) Filed as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on May 11, 2020. (4) Filed as an exhibit to the registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on May 29, 2020. 49 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. PACIFIC ETHANOL, INC. Dated: August 13, 2020 By: /S/ BRYON T. MCGREGOR Bryon T. McGregor Chief Financial Officer (Principal Financial and Accounting Officer) 50